Thomas Albert Unger
Professional Summary
Thomas Albert Unger, who also goes by Thomas A Unger, is a registered financial advisor currently at GUGGENHEIM SECURITIES, LLC located in Chicago, Illinois. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas A Unger
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC
Contact Information
Main Address
330 Madison Avenue, New York, NY 10017Mailing Address
330 Madison Avenue 8th Floor, New York, NY 10017Phone Number
(212) 518-9200Established
Delaware since 01/29/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | — |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| SIRNA, KRISTINE M | CHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER | 5971785 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHIEF EXECUTIVE OFFICER | 2263510 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(5/8/2026)
(7/1/2008)
(6/6/2018)
(7/1/2008)
(7/23/2021)
(7/9/2014)
(8/30/2023)
(12/19/2022)
(7/1/2008)
(8/5/2011)
(7/1/2008)
(7/8/2014)
(4/12/2018)
(8/4/2023)
(7/17/2008)
(10/1/2015)
(7/1/2008)
(3/28/2019)
(12/10/2015)
(10/20/2011)
(10/1/2015)
(7/1/2008)
(6/13/2013)
(7/2/2008)
(10/1/2015)
(7/1/2008)
(12/16/2022)
(2/11/2019)
(10/1/2015)
(4/29/2020)
(10/2/2015)
(7/1/2008)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2003About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2003About the Series 9 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Albert Unger's CRS (Customer Relationship Summary).
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